Louie A. Robinson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Louie Arnett Robinson JR, who also goes by Louie Arnett Robinson, was a registered financial professional .
Louie is a previously registered financial professional and started their career in finance in 1972. Louie had worked at 13 firms and has passed the Series 65, Series 63, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2010 - March 24, 2014
PRUCO SECURITIES, LLC.
December 22, 2010 - March 24, 2014
PRUCO SECURITIES, LLC.
April 10, 2006 - December 31, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 10, 2006 - December 31, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 2, 2004 - February 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 2003 - February 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2001 - July 7, 2003
TRANSAMERICA CAPITAL, LLC
July 17, 1998 - December 21, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 16, 1993 - December 14, 2000
EQUITABLE ADVISORS, LLC
December 24, 1992 - August 3, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 23, 1992 - November 19, 1993
EQUITABLE ADVISORS, LLC
September 10, 1991 - November 21, 1992
VOYA FINANCIAL ADVISORS, INC.
July 17, 1991 - August 30, 1991
CETERA WEALTH SERVICES, LLC
May 10, 1989 - July 23, 1991
AMUNDI DISTRIBUTOR US, INC.
March 27, 1986 - June 1, 1990
DERAND/PENNINGTON/BASS, INC.
February 19, 1985 - May 10, 1989
THE PIONEER GROUP, INC.
June 24, 1974 - March 27, 1986
PW SECURITIES, INC.
July 19, 1972 - June 24, 1974
EQUITY FUNDING SECURITIES CORPORATION
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/14/1972
Registered Representative ExaminationCurrent Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
